Subject Name: OPERATING SYSTEM

Subject Code: 15EC553

Prepared By: Ms. Kavitha, Ms. Kripa, Ms. Sheher Banu S

Department: ECE

Date: 09.0917

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 MODULE 1

Introduction to Operating
Systems

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 TOPICS
• OS
• Goals of an OS
• Operation of an OS
• Computational Structures
• Resource allocation techniques
• Efficiency, System Performance and User Convenience
• Classes operating System
• Batch processing
• Multi programming
• Time Sharing Systems
• Real Time and distributed Operating Systems

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 Abstract Views of an OS
• What is an OS?
– Abstract views
• To a school/college student: Software that permits access to
the Internet
• To a programmer: Software that makes it possible to develop
programs on a computer system
• To a user of an application package: Software that makes it
possible to use the package
• To a technician in a computerized chemical plant: invisible
component of a computer system that controls the plant

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 Abstract Views of an OS
• User’s perception about OS depends on;
– Purpose for which a computer is being used.
– Computing environment in which the computer system is used.
– Degree of identity of the computer system with the purpose
being served.

• Student : Internet browsing.

• Programmer: Program development.
• Person using application package: to use the package.
• Technician: views as everything in the control system of the plant.

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 Abstract Views of an OS
• Hence, user perceives an OS- as the software that helps
him in achieving an intended use of the computer system,
other capabilities of the computer system and its
environment do not seem to matter.
• OS is a means of achieving an intended purpose in the
simplest and fastest possible manner.

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 Uses of Abstract Views

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 Abstract Views of an OS
• Operating system designer also has an
abstract view

• OS is a collection of routines that facilitates execution

of user programs and use of resources
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 Logical & Physical Organization
• Three important entities from programmer’s point of
view;
– a file, a Program and an I/O device.
• Logical view – Abstract view of an entity.
• Physical view – Real view of an entity.

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 Logical and Physical views of execution of a
program

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 Goals of an OS
• Fundamental goals of an operating system
– Efficient use of computer resources
– User convenience

• When these goals conflict, designer makes a

trade-off for
– Efficient use
– User convenience

• Effective utilization
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 OS & Effective utilization of computer systems
• User-centric considerations
– User convenience, fast service to user requests.
– Interactive computing & time critical applications.
• System-centric considerations
– Efficient use of the system.
– Requires good resource allocation policies.
– Non-interactive data processing applications.
• Two aspects in efficient use of resources;
– Overhead: Resource utilization during OS operation
– Poor efficiency:
• Over allocation of resources to programs
• Not able to allocate free resources to programs that need
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them
 Efficient Use
• Resources: Memory, I/O devices, CPU.
• OS ensures efficient use of memory, CPU, and I/O devices
– Poor efficiency can result if a program does not use a resource
allocated to it
• OS can monitor use of resources to ensure efficiency
• OS itself consumes CPU and memory resources, which constitutes
overhead
– It reduces resources for user programs
• OS uses policies that ensure efficiency

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 User Convenience

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 Operation of an OS

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 Common tasks performed by OS

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 Programs- Computational
Structures
• A configuration of one or more programs that work
towards a common goal.
– A single program

– A sequence of single programs

– Co-executing programs

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 Computational structures & OS
responsibilities

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 Computational Structures - Single
program
• Simplest computational structure.

• Consists of execution of a program on a given set of data.

• Program can either be sequential or concurrent.

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 Computational Structures –
Sequence of single programs
• Sequence of single programs.

• Each single program in the sequence is initiated by the

user through a separate command.

• A program is executed only if the previous program in the

sequence is executed successfully.

• Inputs & outputs are hence interfaced/interlinked.

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Example; Steps in execution of a
sequence of programs in MS DOS

C
Compiler Linker demo

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 Computational Structures – Co-
executing programs
• User initiates co-executing programs by indicating their
names in a single command.

• All Programs execute at the same time and interact with

one another during their execution.

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 Example; Co-execution of programs
in Unix
• Unix command to count the number of unique names in a file
names : cat names | sort | uniq| wc -1

• 4 co-executing programs ; cat, sort, uniq, wc

• | : symbol for a unix pipe. It sends output of one programs as input

to another program.

• Passing results from one program to another is the responsibility of

OS.

• All co-executing programs terminate together.

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 Resource Allocation
• Resource allocation function performs binding of one or more
resources with a requesting program.

• It also deallocates resources from a program and allocates them to

another programs.

• Allocation & deallocation of resources - Resource sharing

• Resource protection : Function that prevents mutual interference

between users sharing a set of resources.

• Types of resources;
– System resources
– User-created resources
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 Resource Allocation Strategies

– Partitioning of Resources

– Allocation from a pool

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 Resource Partitioning Approach
• Static allocation.
• Simple to implement.
• OS decides a priori what resources should be allocated to a
user program.
• Allocation is made before execution of a program begins.
• Allocation is based on perceived needs of a program rather
than its actual needs.
• Disadvantage:
– Lacks flexibility, wastage of resources.
– Inability of OS to grant additional resources to a
program during its execution.
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 Pool-based Approach
• Dynamic allocation

• OS maintains a common pool of resources and allocates

from this pool whenever a program requests a resource.

• Allocation takes place during execution of a program.

• Better resource utilization – as it avoids wastage of

allocated resources.

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 Resource Allocation Table

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 Sharing of Resources
• Sequential Sharing
– Resource is allocated for exclusive use by a program.

– After deallocation, it is marked free in the resource table.

– Then it can be allocated to another program.

• Concurrent Sharing
– Two or more programs can concurrently use the same
resource.

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 • Deallocation of resources:
– After program termination
or
– By force
• to ensure fairness in its utilization by programs
or
• to retain system-level goals – Resource Preemption.

• Resource Preemption - forced deallocation of CPU

• Preempted program - A program that loses the CPU in
this manner

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 Sharing of Resources

CPU Sharing

Memory Sharing

Disk Sharing

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 CPU Sharing
• CPU sharing can be done only in sequential manner.

• Only one program at a time.

• Other programs have to wait for their turn.

• Scheduling: Function of deciding which program should

be given the CPU and for how long.

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 Scheduling

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 Memory Sharing
• Parts of memory can be treated as independent resources.

• Partitioning & pool based allocation approach can be used

to manage memory.

• Partitioning – Simple

• Pool based – better use of memory-no wastage

• Swapping – Memory preemption

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 Memory Allocation

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 Disk Sharing
• Different parts of a disk can be treated as independent resources.

• Partitioning & pool based allocation approaches are feasible.

• Partitioning – Simple

• Pool based – better use of memory-no wastage

• Disk preemption is not practiced by OS. Users can preempt their

disk areas by copying their files onto tape cartridges.

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 Virtual Resources
• Fictitious resource – an illusion supported by an OS through use
of a real resource.

• An OS uses same real resource to support several virtual

resources.

• A virtual device, in operating systems, refers to a device file that

has no associated hardware.

• A virtual device mimics a physical hardware device when, in fact,

it exists only in software form. Therefore, it makes the system
believe that a particular hardware exists when it really does not.
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 • Virtual Memory is a space where large programs can store
themselves in form of pages while their execution and only the
required pages or portions of processes are loaded into the main
memory.

• A virtual printer is not really a printer at all; it is a piece of

software installed on your computer.

• Virtual Machines: created by an OS by partitioning the memory

and I/O devices of a real machine.

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 Security and Protection
• Security counters threats of interference or illegal use
posed by persons/programs outside OS control
– Authentication: only registered user can use a computer
system
• Protection counters threats posed by users of an OS

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 Security & Protection

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 Security and Protection
• Intruders are outsiders who can cause
interference
– May use or create malicious programs
• Trojan horses
• Viruses
• Worms
• Methods of addressing security threats
– Authentication techniques
– Plugging security holes

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 Efficiency, System Performance, and Use
Convenience

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 System performance
• It is typically measured as throughput.

• Definition -The throughput of a system is the number of

programs, jobs, processes or sub requests completed by it
per unit time.

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 User service
• It is a measurable aspect of user convenience.

• It indicates how a user’s computation has been treated by

the OS.

• Measures of user service:

– Turn-around time (for non-interactive computing environment)

– Response time (for interactive computing environment)

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 User service
• The turn-around time of a job, program, process is the
time since its submission for processing to the time its
results become available to the user.

• The response time provided to a sub request is the time

between the submission of the sub request by a user and
the formulation of the process’s response to it.

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Measuring Efficiency, System Performance,
and User Convenience

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Classes of OS : Key features

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Efficient Use & User Convenience in different OS classes

• Batch processing Systems – processes one user program at

a time.
• Multiprogramming Systems – processes many user
programs in an interleaved manner.
• Time sharing Systems – processes many programs over the
same period of time.
• Real time Systems – Dedicated to a single time critical
application.
• Distributed Systems – Provides resource sharing across the
boundaries of computer systems.
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 Punched cards
• Computer systems used punch cards as a primary input medium.
• Each user prepares his job on this off-line device and submits it to the
computer operator.
• A program & its data consisted – a deck of cards.
• Programmer submits a programmer at a counter in a computer center.
• Execution of the program would be set up by computer operator.

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 Batch Processing Systems
• Introduced to avoid CPU time wastage.

• Operates in a strict one-job-at-a-time manner.

• It is the execution of a series of programs in a job on a computer

without manual intervention (non-interactive).

• A Batch is a sequence of user jobs formed for the purpose of

processing by a batch processing OS.

• Each job in a batch is independent of other jobs in the batch.

• Jobs belong to different users.

• The users of a batch operating system do not interact with the

computer directly.
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 Batch Processing OS
Computer operator

 forms a batch by organizing a set of user jobs in a sequence.

 Insert special marker cards to indicate start and end of a batch.

 Submit a batch as a unit for processing by batch processing OS.

Primary function of batch processing OS:

 Service the jobs in a batch one after another without operator’s

intervention.

 Operator needs to intervene only at the start and end of a batch.

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 Batch Monitor
• Batch processing is implemented by the kernel – called Batch
Monitor.
• It resides in one part of the computer’s memory (system area),
remaining part of the memory (User area) is used for current job
of the batch.

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 Batch Processing OS
• Batch processing OS used the notion of Virtual devices to conserve
the CPU time of a powerful computer system.

• Virtual I/O devices – tapes or disks in place of punched cards &

printers.
– A program records a batch of jobs on magnetic tapes.
– Process these jobs.
– Write the results on another magnetic tape.
– Another program prints the contents of this tape.

• Two spooling operations were performed;

– Inspooling
– outspooling
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 Batch Processing OS – User Service

• Turn-around time used to quantify user service.

• Turn around time of a job, jobi in a batch includes;

– Time until a batch is formed.

– Time spent in executing all jobs of the batch.

– Time spent in printing and sorting the results

belonging to different jobs.
• Service to individual users deteriorates.
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 Batch Processing OS – User Service

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Batch Monitor functions

• Scheduling

• Memory management

• Sharing & protection

Protection problems in card based systems –

Source : input card reader

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 Batch Processing OS – Control statements & Command processor

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 2. Multiprogramming

• Concurrency of operation between CPU and I/O

subsystem.
• OS can put many user programs in the memory and let
the CPU execute instructions of one or more program
while the I/O subsystem is busy with an I/O operation of
another program

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Operation of a multiprogramming OS

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Architectural Support for Multiprogramming

• DMA (Direct Memory Access)

• Memory Protection

• Privileged mode of CPU

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 Architectural Support for Multiprogramming

• DMA – makes multiprogramming feasible.

• Memory protection – Prevents mutual interference between

programs.

• Privileged mode of CPU – provides a method of implementing

memory protection and other measures to avoid interference
between programs.

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 • CPU modes of operation:
– User Mode (P=0)
– Privileged Mode (P=1)

• Privileged instructions
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Architectural Support for Multiprogramming

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Multiprogramming – User Service

• Turn-around time – Depends on the number of

jobs in the system and relative priorities assigned
to different jobs by the scheduler.

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Functions of the Multiprogramming Kernel
1. Scheduling (priority based)

2. Memory Management

3. I/O Management

Protection:

• Memory protection hardware is used to prevent

mutual interference.

• Non-privileged mode of operation of CPU

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 Performance of a Multiprogramming
System
• Throughput: Ratio of the number of programs processed and
the total time taken to process them.
• n- number of programs
• to- start time
• tf- end time
• Throughput = n / (tf - to)

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Concepts/Techniques to optimize Throughput in multiprogramming

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 Program Mix
• Let m=2, prog1 & prog2 – both CPU-bound.
– I/O subsystem is underloaded.
– Periods of concurrent CPU & I/O activities are rare.
– Hence, throughput is low.

• Throughput will be high when both programs progress concurrently.

• Program mix – a practical way to improve the throughput.

– Contains some CPU-bound programs and some I/O-bound programs.
– Progcb: CPU-bound program
– Progiob: I/O-bound program.

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 Program Priority & Preemption
• Priority: is a tie-breaking notion used in a scheduler to
decide which request should be scheduled on the server
when many requests await service.

• This leads to preemption of a low priority program when

a high priority program becomes ready to use the CPU.

• Preemption: is the forced deallocation of the CPU from a

program.

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Assignment of Program Priorities
• Kernel assigns priorities to programs (CPU-bound / I/O-bound).

• This assignment influences the system throughput.

• Priority assignment rule; In multiprogramming systems, I/O-

bound programs should have higher priority than CPU-bound
programs.

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 Higher priority to CPU-bound programs:

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 Observations
• CPU utilization is reasonable.
• I/O utilization is poor.
• Periods of concurrent CPU & I/O activities are rare.

• If m>2
– m= 3 (CPU-bound) prog3 Priority between Progcb &
progiob.
– m=3 (I/O-bound) prog4 –lowest priority.

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 Higher priority to I/O-bound programs:

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 Observations
• CPU utilization is reasonable.
• I/O utilization is reasonable.
• Periods of concurrent CPU & I/O activities are
frequent.

Advantage:
• System throughput can be increased by adding more
programs.

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• Hence, assigning higher priority to I/O bound programs leads to good
throughput.
• It also enables the OS to combat poor throughput in the system by
increasing the degree of multiprogramming.

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 Degree of Multiprogramming

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 Time Sharing Systems
• Batch processing & Multiprogramming – non-interactive
computing environment, hence poor User Service.
• Interactive computing environment: Quick service to user
requests.

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 Time Sharing – User Service

• Response Time (rt): Time taken to service a sub request.

• Good rt required during program development which leads to

an improvement in the productivity of the user.

Design principles & techniques to get good rt;

– Designing an interactive user interface.

– New scheduling & memory management techniques.

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 Time Sharing – Scheduling
• All users must get an equal opportunity to present their
computational requests and have them serviced.
• Also each user must receive reasonable service.
1. Programs are not assigned priorities.
2. Every request receives OS attention without
unreasonable delays.

 Round Robin Scheduling

 Time Slicing

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 Round Robin Scheduling
• When a user makes a computational request to his program, the
program is added to the end of a scheduling list.

• Scheduler always removes the first program from the scheduling list
and gives the CPU to it.

• When a program finishes computing its response to a request, it is

removed from the CPU and the first program in the new list is
selected for execution.

• When the user makes another request, the program is once again
added to the end of the scheduling list.
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 Time Slicing

• Used to prevent monopolization of the CPU by a program.

• Time Slice: Largest amount of CPU time any program can

consume when scheduled to execute on the CPU.

• Time Slicing: Implementation of time slice.

• A program exceeding this time slice limit is preempted.

• Preempted program is added to the end of the scheduling list.

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Round Robin Scheduling with Time Slicing

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 Time Sharing Kernel
• Time Slicing is implemented by the time sharing kernel
using interval timer.

• Interval timer consists of a register: Timer Register.

• Timer Register stores the time interval in hours, minutes

& seconds.

• A Timer Interrupt is raised when the contents of the

timer register becomes zero (timer interval elapsed).

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 Algorithm showing actions of Time Sharing
Kernel;
1. Select the first program in the scheduling list for execution.
Let the selected program be P. Remove P from the
scheduling list.
2. Load the value of the time slice into the interval timer.
3. Start execution of program P on the CPU.
4. If P initiates an I/O operation, go to step 1 to schedule
another program for execution.
5. When a timer interrupt occurs, preempt P and add it at the
end of the scheduling list. Go to step 1.

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 Response Time

CPU Efficiency

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 Actual response time may be different time from the values
predicted by the formula.
Reasons:

• Value of rt may be smaller than that predicted:

– All users may not have made requests to their programs.
– Hence,
• rt would not be influenced by n.
• It would be influenced by the number of active users(na), na <
n.

• User requests do not require exactly CPU seconds to produce a

response.
• So, relationship of response time, efficiency with time slice is more
complex than seen in formula.
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 Influence of time slice on response
time

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Timesharing scheduling, Time slice =10msec

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 Memory Management
• To use the CPU idle time, the system can service few more
user programs.

• Large memory is required.

• Solution: Swapping, whereby a computer can support a large

number of users without having to possess a large memory.

• Swapping: A technique of temporarily removing inactive

programs from the memory of a computer system.

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 • Inactive program: A program which is neither executing on
the CPU nor performing an I/O operation.

• Active program: Which executes on the CPU while others

perform I/O.

• The programs existing in the memory are classified into three

categories;

1. Active programs.

2. Programs being swapped out of the memory.

3. Programs being swapped into the memory.

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 A schematic of Swapping

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 Real Time Systems
• Real time application: A program that responds to
activities in an external system within a maximum time
determined by the external system.

• If the application takes too long to respond to an

activity, a failure can occur in the external system.

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Response requirement of a system: indicates the largest
value of response time for which the system can
function perfectly.
Timely Response: whose response time is smaller than
the response requirement of the system.
Deadline of an action in a real time application is the
time by which the action should be performed.

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 Real Time Applications
• Missile guidance

• Command & control applications like

– Air traffic control

– Data sampling & data acquisition systems like

• Display systems in automobiles

• Multimedia systems

• Reservations & banking systems.

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 Types of Real Time Systems
• Hard Real time systems:
– Dedicated to processing real time applications.
– Meets the response requirement of an application
under all conditions.
 Ex: Guidance & control applications.
• Soft Real time systems:
– Makes best effort to meet the response requirement of
a real time application but cannot guarantee that it will
be able to meet it under all conditions.
 Ex: Multimedia applications, Reservation & banking
applications.
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 Features of Real Time OS

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 Distributed Operating System

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 Concepts/Techniques

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 MODULE 2

Process Management

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 TOPICS
• OS View of Processes
• PCB
• Fundamental State Transitions
• Threads
• Kernel Level Threads
• User Level Threads

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 OS View of a Process
Process is an execution of a program.
Definition: A process is comprised of six components:
(id, code, data, stack, resources, CPU state)
Where;
 id – a unique name/id assigned to program execution.
 Code – data and files used in the program’s execution.
 Resources – set of resources allocated by the OS.
 Stack – Contains parameters of functions and procedures
called, and their return addresses.
 CPU state – comprised of contents of PSW fields and the
CPU registers.

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 Controlling Processes

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 Components of Process Environment

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 Fields of Process Control Block

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 Fundamental functions of Kernel to
control processes:

• Scheduling
• Dispatching
• Context save

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 Process States and Transitions:

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 Fundamental state transitions for a process:

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 Suspended Processes:

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 Threads:
A program execution that uses the resources of a process.

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 Advantages of Threads:

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 Implementation of Threads:

• Kernel Level Threads

• User Level Threads
• Hybrid Threads

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 Kernel Level Threads

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 User Level Threads:

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